Caterina Costante is a registered investment advisor, based in Prescott, AZ, with 27 years of industry experience.
Location
Prescott, AZ
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Transamerica Investors Securities, LLCBroker
September 2022 - Present · 3 yrs 8 mos
Transamerica Retirement Advisors, LLC
September 2022 - Present · 3 yrs 8 mos
Transamerica Investors Securities, LLC
September 2022 - Present · 3 yrs 8 mos
Previous Registrations
Empower Advisory Group, LLC
July 2020 - August 2022 · 2 yrs 1 mo
Empower Financial Services, INC.Broker
July 2020 - August 2022 · 2 yrs 1 mo
Members Capital Advisors, INC.
October 2019 - July 2020 · 9 mos
CUNA Brokerage Services, INC.Broker
December 2003 - July 2020 · 16 yrs 7 mos
CUNA Brokerage Services, INC.
December 2003 - July 2020 · 16 yrs 7 mos
Charles Schwab & CO., INC.
May 2003 - November 2003 · 6 mos
Charles Schwab & CO., INC.Broker
March 2000 - November 2003 · 3 yrs 8 mos
Fidelity Brokerage Services, INC.Broker
December 1998 - February 2000 · 1 yr 2 mos
State Registrations2 states
AZTX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.